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  Improve Your Financial Knowledge - Part 19

  1-Aug-2023

  61. Client-Name Accounts:

  In the client’s name * New account application: 1 Dealer, 1 Fund Company * Trade instructions with client signature or LTA * Custody of account: Fund Company * No Investor Protection

   

  62. Nominee-Name Accounts:

  In the dealer’s name * New account application: 1 Form: Dealer * Trade instructions with no signature * Custody of account: Dealer * Investor Protection

   

  63. Client File Documents:

  New Client Application Form (NCAF) * Relationship Disclosure Information (RDI) * Risk Questionnaire * Financial Plan * Fund Facts/ETF Facts * Fund Account Application Form * Trade Instructions / Authorization * Limited Trading Authorization (LTA) * Disclosures * Supplementary Account Documents * Signatures, Acknowledgements, Consent, and Approvals

   

  You can book your consultation at 

  Https://ABCFinancialAdvisor.com/Book-a-Meeting

  Or call us at 647-830-8080

   

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